Sergio Sotolongo
Professional Summary
Sergio Sotolongo is a registered financial advisor currently at BOLTON SECURITIES CORPORATION located in Miami, Florida and BOLTON GLOBAL CAPITAL located in North Miami, Florida. Sergio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Sergio has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
23 years in the financial services industry
Current & Past Employments
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Current Firm
BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP
Contact Information
Main Address
579 Main Street, Bolton, MA 01740Mailing Address
579 Main Street, Bolton, MA 01740Phone Number
(978) 779-6947Established
Delaware since 07/30/1999Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
158SEC notice filing (38 States and Territories)
Registered to provide investment advisory services in 38 US states and territories.
FINRA licenses (49 States and Territories)
Registered to provide investment advisory services in 38 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOLTON FINANCIAL GROUP, INC. | SHAREHOLDER | — |
| PRESKENIS, STEVEN CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 4410822 |
| BEALS, MATTHEW GEORGE | PRESIDENT | 5157251 |
| CATALDO, JOHN GENNARO | CHIEF LEGAL OFFICER AND CHIEF ADMIN OFF. | 5707721 |
| MAHLE, DAPHNE JANE | CHIEF COMPLIANCE OFFICER | 4367277 |
| TARPEY, STEVEN R | CFO AND FINOP | 6640625 |
Regulatory Assets Under Management
Total Number of Accounts
7,320AUM (Assets Under Management)
$8,275,512,495Disclosures
Regulatory Event
1Civil Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
BOLTON GLOBAL ASSET MANAGEMENT | NEWERA WEALTH ADVISORS | DELTA GLOBAL ASSET MANAGEMENT | BOLTON SECURITIES CORPORATION | BOLTON SECURITIES CORP
State Registrations and Notice Filings
(6/2/2023)
(6/19/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Sergio Sotolongo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sergio Sotolongo's CRS (Customer Relationship Summary).
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